


FINRA, ICE, NASDAQ, and NYSE Will Know All Your Personal Details and Trading Patterns Once the C.A.T. is Fully Operational

by IJOTFP



Category: No Fandom
Language: English
Status: Completed
Published: 2019-12-11
Updated: 2019-12-11
Packaged: 2021-03-01 01:55:35
Rating: Not Rated
Warnings: Creator Chose Not To Use Archive Warnings
Chapters: 1
Words: 4,861
Publisher: archiveofourown.org
Story URL: https://archiveofourown.org/works/23057332
Author URL: https://archiveofourown.org/users/IJOTFP/pseuds/IJOTFP





	FINRA, ICE, NASDAQ, and NYSE Will Know All Your Personal Details and Trading Patterns Once the C.A.T. is Fully Operational

FINRA, ICE, NASDAQ, and NYSE Will Know All Your Personal Details and Trading Patterns Once the C.A.T. is Fully Operational

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#  [FINRA, ICE, NASDAQ, and NYSE Will Know All Your Personal Details and Trading Patterns Once the C.A.T. is Fully Operational](https://interactiveswingtrading.com/2019/12/11/24299/)

  
__Author: [Interactive Swing Trading](https://interactiveswingtrading.com/author/interactiveswingtrader/) __Published Date: December 11, 2019 __Comments: [2 Comments](https://interactiveswingtrading.com/2019/12/11/24299/#comments)  


  
[](https://interactiveswingtrading.com/2019/12/11/24299/)  


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#  **They will have access to the complete trading history of every brokerage account in America**

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#  **They will know your name, address, SIN Number, and even your Taxpayer Identification Number**

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# These are the companies that will have access to every single trade you have ever made; and for the rest of your life. Many of these companies you probably know very well. 

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<https://www.catnmsplan.com/wp-content/uploads/2018/02/p602500.pdf>

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# Below are some excerpts from the official proposal

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It **“will allow for the prompt and accurate recording of material information about all orders in NMS securities, ***[INCLUDING THE IDENTITY OF THE CUSTOMERS](https://archive.is/j7kZs#selection-903.0-928.1)***,** as these orders are generated and then routed throughout the U.S. markets until execution, cancellation, or modification. This information will be consolidated and made readily available to regulators in a uniform electronic format.”

<https://www.catnmsplan.com/wp-content/uploads/2017/11/CAT-NMS-Plan-Current-as-of-10.30.17.pdf>

<https://www.catnmsplan.com/wp-content/uploads/2017/11/CAT-NMS-Plan-Current-as-of-10.30.17.pdf>

<https://www.catnmsplan.com/wp-content/uploads/2017/11/CAT-NMS-Plan-Current-as-of-10.30.17.pdf>

<https://www.catnmsplan.com/wp-content/uploads/2017/11/CAT-NMS-Plan-Current-as-of-10.30.17.pdf>

<https://www.catnmsplan.com/wp-content/uploads/2017/11/CAT-NMS-Plan-Current-as-of-10.30.17.pdf>

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#  **It will be a private company owned and operated by the exchanges and[FINRA](https://archive.is/s2jKC#selection-453.0-453.167)**

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_**Consolidated Audit Trail, LLC has entered into an agreement with[FINRA ](https://archive.is/3gvxD)CAT LLC obligating [FINRA ](https://www.myirionline.org/docs/default-source/default-document-library/-finra-enforcement-analysis-and-trends-.pdf?sfvrsn=0)CAT LLC, as the Plan Processor,** to perform the functions and duties contemplated by the Plan, including the management and operation of the CAT. _

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“ _ **The Participants will jointly own on an equal basis the Company**. The Company will create, implement and maintain the CAT. The limited liability company agreement (“LLC Agreement”) itself, including its appendices, is the proposed Plan, which would be a national market system plan as defined in Rule 600(b)(43) of Regulation NMS”._

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# Amazon will be in charge of running the cloud. The maintenance fee is projected to be as high as $2 billion per year.

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# It will be the second largest data repository in the world

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# From now on, whenever they say “the SRO’s”, substitute that with: [“the brokers](https://archive.is/ReSEz) (FINRA) and the [privately owned for profit ](https://archive.is/xXUDt#selection-3359.1-3371.72)and publicly traded stock exchanges that derive a large majority of their income from selling market data”. 

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#  NASDAQ 2018 Annual Report 

[ ](https://www.secinfo.com/d125Ue.yd.htm?Find=%22Market%20Services%2C%20Corporate%20Services%2C%20Information%20Services%22&Line=646#Line646)

#  ICE (NYSE) 2018 Annual Report

[ ](https://www.secinfo.com/d1fV32.yc.htm)

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Think about that for a second. If you are having trouble processing what is going on right now, don’t feel bad, because the logic is so counter-intuitive that you are probably experiencing something known as cognitive dissonance; what occurs when two actions or ideas lack any kind of logical consistency with one another. This is a common reaction for most average hard working people when they try to make sense of the opaque phraseology and inventive acronyms frequently used on Wall Street.  
  
Just so the sheer absurdity of what they are proposing truly sinks in, let’s repeat this statement one more time. 

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_“[the brokers](https://archive.is/ReSEz) (FINRA) and the [privately owned for profit ](https://archive.is/xXUDt#selection-3359.1-3371.72)and publicly traded stock exchanges — that derive a large majority of their income from selling market data — want access to the trading histories, names, addresses, dates of birth, broker account locations, previous addresses, and tax identification numbers of every single brokerage account in America, on demand, and at one location” _

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# Starting to make a little more sense now?

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_“The Plan Processor([FINRA](https://www.myirionline.org/docs/default-source/default-document-library/-finra-enforcement-analysis-and-trends-.pdf?sfvrsn=0)) will create and maintain a method of access to the CAT Data stored in the Central Repository that includes the ability to run searches and generate reports. **The method in which the CAT Data is stored in the Central Repository will allow the ability to return results of queries that are complex in nature including market reconstruction and the status of order books at varying time intervals”.**_

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# Just imagine the HFT one could create with such a vast repository of market data. Remember, we have artificial intelligence now.

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> [The Impact of Artificial Intelligence on Wall Street, December. 6, 2019](https://interactiveswingtrading.com/2019/12/10/the-impact-of-artificial-intelligence-on-wall-street-december-6-2019/)

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# Even SEC Commissioners think this is outrageous

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The excuse they are using as the basis for gaining access to all of our personal information is to prevent another [Flash Crash](https://en.wikipedia.org/wiki/2010_Flash_Crash); a one time market event that happened 10 years ago, lasting all of 36 minutes.

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“ _ **Each national securities exchange and national securities association currently registered with the Commission would be a Participant in the Plan**. The names and addresses of each Participant are set forth in Exhibit A to the Plan. Article III of the Plan provides that any entity approved by the Commission as a national securities exchange or national securities association under the Exchange Act after the Effective Date may become a Participant by submitting to the Company a completed application in the form provided by the Company and satisfying each of the following requirements: (1) executing a counterpart of the LLC Agreement as then in effect; and (2) paying a fee to the Company in an amount determined by a Majority Vote of the Operating Committee as fairly and reasonably compensating the Company and the Participants_“

“ _Consistent with Appendix D, Data Retention Requirements, the Central Repository will retain the information collected pursuant to paragraphs (c)(7) and (e)(7) of Rule 613 **in a convenient and usable standard electronic data format that is directly available and searchable electronically** **without any manual intervention by the Plan Processor for a period of not less than six years.** Such data when available to the Participant regulatory staff and the SEC will be linked. In addition, the Plan Processor will implement and comply with the records retention policy contemplated by Section 6.1(d)(i)”._

# Apparently we are just supposed to trust this cartel of exchanges and [brokers ](https://archive.is/ReSEz)with the largest most sophisticated centralized repository of market data the world has ever seen.

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_“Consistent with Appendix D, Data Access, the Plan Processor will provide Participants and the SEC access to the Central Repository (including all systems operated by the Central Repository), ** and access to and use of the CAT Data stored in the Central Repository, solely for the purpose of performing their respective regulatory and oversight responsibilities pursuant to the federal securities laws, rules and regulations or any contractual obligations”.**_

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# They even admit in their own company SEC filings that they have been the subject of serious data breaches that resulted in the loss of important proprietary trading data. This was only last year

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[ ](https://www.secinfo.com/d1fhrd.yRr.htm)

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Here’s the worst part about all of this. These exchanges, or “SRO’s” — you know, that cute little acronym they keep throwing around — pay FINRA, another “SRO” (“ _Self Regulatory Organization_ “) to regulate them.   
  
Yes, they pay their regulator to regulate them.   
  
Back before[ the worst financial crisis in American history](https://interactiveswingtrading.com/2019/09/18/quote-in-2009-ben-bernanke-said-the-2008-financial-crisis-was-worse-than-the-great-depression/), ratings agency’s were being paid to rate Mortgage Backed Securities by [the very brokers](https://archive.is/ReSEz) that were selling these, as they put it, “pieces of sh*t”. You must remember; those “structured financial products” that wiped away millions of peoples life savings and left countless others out of a job or living on the streets.   
  
[These very same brokers](https://archive.is/ReSEz) that sold those, again as they put it, “pieces of sh*t, are the same organizations that pay FINRA to regulate them. Do you really think it’s a good idea to be giving these people all of your personal information, then allowing them to connect this information to every single trade you will ever make for the rest of your life? You might be able to justify giving the SEC access to something like this, but not them. No way. They will do whatever it takes to increase their profits, and their actions have shown this time and time again. They will even break the law if they have to, because as they say, absolute power corrupts absolutely. 

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# From Nasdaq’s 2018 Annual Report

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_“Under Graber, I learnt that Wall Street was an illusion,” Israel said. “There were different magicians using different tricks in different ways. But everyone cheated. It shocked me so much in the beginning. I admired these people. And they cheated”_ , [Sam Israel, The Independent ](https://archive.is/kvr0n#selection-1871.0-1874.0)

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The Plan Processor will, at least annually and at such earlier time promptly following a request by the Operating Committee, certify to the Operating Committee that **only the Participants and the SEC have access to the Central Repository** (other than access provided to any Industry Member for the purpose of correcting CAT Data previously reported to the Central Repository by such Industry Member).  
2015 <https://www.catnmsplan.com/wp-content/uploads/2018/02/p602500.pdf>

  
  
**The CAT NMS Plan requires regulator access by two different methods: (a) an online targeted query tool with predefined selection criteria to choose from; and (b) extractions of data via a query tool or language allowing querying of all available attributes and data sources.**  
Appendix D of the CAT NMS Plan sets forth additional requirements concerning regulator access. The CAT NMS Plan describes the responsibilities of the Plan Processor for the CAT. 

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The Plan Processor must include **penetration testing and an application security code audit** by a reputable (and named) **third party prior to launch as well as periodically** as defined in the SLA(s). 

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Reports of the audit will be provided to the Operating Committee as well as remediation plan for identified issues. **The penetration test reviews of the Central Repository’s network, firewalls, and development, testing** and production systems should help the CAT evaluate the system’s security and resiliency in the face of attempted and successful systems intrusion

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**The Operating Committee will consist of one voting member representing each Participant and one alternate voting member representing each Participant who will have a right to vote only in the absence of the Participant’s voting member** of the Operating Committee. Each of the voting and alternate voting members of the Operating Committee will be appointed by the Participant that he or she represents, will serve at the will of the Participant appointing such member and will be subject to the confidentiality obligations of the Participant that he or she represents as set forth in Section 9.6. One individual may serve as the voting member of the Operating Committee for multiple Affiliated Participants, and such individual will have the right to vote on behalf of each such Affiliated Participant.

  
All Company Interests will have the same rights, powers, preferences and privileges and be subject to the same restrictions, qualifications and limitations. **Once admitted, each Participant will be entitled to one vote on any matter presented to Participants for their consideration and to participate equally in any distribution made by the Company (other than a distribution made pursuant to Section 10.2 of the Plan)**. Each Participant will have a Company Interest equal to that of each other Participant.

  
  
A member of the Operating Committee or any Subcommittee thereof (as discussed below) shall recuse himself or herself from voting on any matter **under consideration by the Operating Committee or such Subcommittee if such member determines that voting on such matter raises a Conflict of Interest**. In addition, if the members of the Operating Committee or any Subcommittee (excluding the member thereof proposed to be recused) determine by Supermajority Vote that any member voting on a matter under consideration by the Operating Committee or such Subcommittee raises a Conflict of Interest, such member shall be recused from voting on such matter. No member of the Operating Committee or any Subcommittee will be automatically recused from voting on any matter except matters involving Material Contracts as discussed in the prior paragraph, (they decide together if a participant is not allowed to vote)

(From CBOE’s 2018 Annual Report)  
“ **Upon final implementation of the provisions of the CAT, data will be required to be reported to a central repository the following day by each SRO and broker-dealer.** On November 15, 2016, the SEC approved the CAT. In 2017,[ Thesys CAT LLC (“Thesys”), a subsidiary of Thesys Technologies, LCC](https://archive.is/8Us4u), was selected as the plan processor with the responsibility to build and operate the CAT. There is a phased implementation through 2021. The first phase was required to go live on November 15, 2017, but failed to go live on that date. The CAT went live in November 2018 …. The current CAT plan processor, Thesys, is expected to be replaced by a new plan processor (FINRA). The second phase is scheduled to go live November 15, 2019″ 

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### Leave a Reply [Cancel reply](https://interactiveswingtrading.com/2019/12/11/24299/#respond)

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##  [](http://feeds.reuters.com/reuters/businessNews) [Reuters: Business News](https://www.reuters.com/)

  * [France says 11 people have now died from coronavirus: Health Ministry](http://feeds.reuters.com/~r/reuters/businessNews/~3/oNGuJE7yasM/france-says-11-people-have-now-died-from-coronavirus-health-ministry-idUSKBN20U0KA) March 7, 2020

France's Health Ministry said on Saturday that two more people had died from the coronavirus, bringing the total death toll to 11 people.

  * [Coronavirus infects 100,000-plus worldwide, 21 cases found on ship off San Francisco](http://feeds.reuters.com/~r/reuters/businessNews/~3/DWpe71-2z_c/coronavirus-infects-100000-plus-worldwide-21-cases-found-on-ship-off-san-francisco-idUSKBN20T1G4) March 7, 2020

Twenty-one people aboard a cruise ship that was barred from docking in San Francisco have tested positive for coronavirus, U.S. officials said on Friday, adding to the more than 100,000 cases of the fast-spreading illness across the world.

  * [Number of UK coronavirus cases rises to 206](http://feeds.reuters.com/~r/reuters/businessNews/~3/dWs8RIvNo-A/number-of-uk-coronavirus-cases-rises-to-206-idUSKBN20U0ME) March 7, 2020

The number of confirmed coronavirus cases in the United Kingdom has risen to 206, a rise of 43, British health officials said on Saturday.

  * [Factbox: The economic remedies for the coronavirus](http://feeds.reuters.com/~r/reuters/businessNews/~3/R-V-WGzGbwg/factbox-the-economic-remedies-for-the-coronavirus-idUSKBN20S2MO) March 7, 2020

Policymakers have taken a range of approaches to deal with the economic fallout from the coronavirus, from emergency interest rate cuts and big spending packages to a wait-and-see-stance and pledges of action if required.

  * [Shanghai tightens airport checks as imported virus infections in China jump](http://feeds.reuters.com/~r/reuters/businessNews/~3/Sk6gyLSyhIU/shanghai-tightens-airport-checks-as-imported-virus-infections-in-china-jump-idUSKBN20U00W) March 7, 2020

Shanghai increased airport screening on Saturday as imported coronavirus infections from countries such as Italy and Iran emerge as the biggest source of new cases in China outside Hubei, the province where the outbreak originated.

  * [U.S. sailor confirmed with coronavirus in Italy](http://feeds.reuters.com/~r/reuters/businessNews/~3/OwZLZMXDQrs/u-s-sailor-confirmed-with-coronavirus-in-italy-idUSKBN20U0M6) March 7, 2020

A U.S. sailor deployed to Naples, Italy, has tested positive for the coronavirus, the U.S. military said on Saturday, in the second confirmed case among U.S. forces following another in South Korea. 

  * [Italy coronavirus deaths near 200 after biggest daily jump](http://feeds.reuters.com/~r/reuters/businessNews/~3/Mcy9D6JgEAY/italy-coronavirus-deaths-near-200-after-biggest-daily-jump-idUSKBN20T2ML) March 7, 2020

The death toll from an outbreak of coronavirus in Italy has risen by 49 to 197, the Civil Protection Agency said on Friday, the largest daily increase in fatalities since the contagion was uncovered two weeks ago.

  * [South Korea's coronavirus cases climb above 7,000, most cases traced to church](http://feeds.reuters.com/~r/reuters/businessNews/~3/gmpeWTstovE/south-koreas-coronavirus-cases-climb-above-7000-most-cases-traced-to-church-idUSKBN20U02M) March 7, 2020

South Korea's coronavirus cases jumped above 7,000 on Saturday, up by 448 from the previous day, with more than half of the total number linked to a secretive church at the center of the country's outbreak, health authorities said.

  * [Factbox: Latest on the spread of coronavirus around the world](http://feeds.reuters.com/~r/reuters/businessNews/~3/Y-tgmGgsWaA/factbox-latest-on-the-spread-of-coronavirus-around-the-world-idUSKBN20T2T7) March 7, 2020

The number of people infected with coronavirus approached 102,000 across the world as the outbreak reached more countries and caused more economic damage.

  * [Gulf states report new rise in coronavirus cases](http://feeds.reuters.com/~r/reuters/businessNews/~3/6sLGagveAtg/gulf-states-report-new-rise-in-coronavirus-cases-idUSKBN20T2V4) March 7, 2020

The number of coronavirus cases in the United Arab Emirates has risen to 45 from 30, the Health Ministry said on Saturday, as other countries in the Gulf region also reported new infections.

  * [German coronavirus cases jump, economic nervousness rises](http://feeds.reuters.com/~r/reuters/businessNews/~3/K4GyP54ihN4/german-coronavirus-cases-jump-economic-nervousness-rises-idUSKBN20U0G6) March 7, 2020

The number of coronavirus patients in Germany jumped to 684 on Saturday morning, with concern growing at the economic impact of the spreading epidemic on one of the world's most trade-dependent economies.

  * [Factbox: Sports events hit by the coronavirus epidemic](http://feeds.reuters.com/~r/reuters/businessNews/~3/7ZtbUCmleJg/factbox-sports-events-hit-by-the-coronavirus-epidemic-idUSKBN20S1ZD) March 7, 2020

Here is a list of international sports events hit by the outbreak of a coronavirus:

  * [Coronavirus deaths rise to 145 in Iran, infections up by more than 1,000 - ministry](http://feeds.reuters.com/~r/reuters/businessNews/~3/4paFp3t9jlc/coronavirus-deaths-rise-to-145-in-iran-infections-up-by-more-than-1000-ministry-idUSKBN20U0GO) March 7, 2020

The number of deaths caused by coronavirus infections in Iran rose by 21 over the past 24 hours to reach 145 on Saturday, a health ministry official said.

  * [Wall Street Week Ahead: Investors look for buys as virus fears crush travel stocks](http://feeds.reuters.com/~r/reuters/businessNews/~3/teCruWNcYaU/wall-street-week-ahead-investors-look-for-buys-as-virus-fears-crush-travel-stocks-idUSKBN20T23L) March 7, 2020

Bargain-hunting investors are eyeing the shares of airlines, hotels, cruise lines and other companies that have been among the worst-hit by the coronavirus outbreak.

  * [Ethiopian draft report blames Boeing for 737 MAX plane crash: sources](http://feeds.reuters.com/~r/reuters/businessNews/~3/1PMzueq7-NU/ethiopian-draft-report-blames-boeing-for-737-max-plane-crash-sources-idUSKBN20U069) March 7, 2020

A draft interim report from Ethiopian crash investigators circulated to U.S. government agencies concludes the March 2019 crash of a Boeing Co 737 MAX was caused by the plane's design, two people briefed on the matter said Friday.

  * [U.S. lawmakers fault FAA, Boeing for deadly 737 Max crashes](http://feeds.reuters.com/~r/reuters/businessNews/~3/vI_YVFpKxqY/u-s-lawmakers-fault-faa-boeing-for-deadly-737-max-crashes-idUSKBN20T2EL) March 7, 2020

A U.S. House investigative report into two fatal Lion Air and Ethiopian Airlines crashes on a Boeing 737 MAX faulted the Federal Aviation Administration's (FAA) approval of the plane and Boeing's design failures, saying the flights were "doomed."

  * [Facebook closes London offices until Monday due to coronavirus](http://feeds.reuters.com/~r/reuters/businessNews/~3/VB-BCPPpJMk/facebook-closes-london-offices-until-monday-due-to-coronavirus-idUSKBN20T2BT) March 7, 2020

Facebook said on Friday it is closing its London offices until Monday after a visiting employee from Singapore was diagnosed with coronavirus.

  * [U.S. FAA proposes fining Boeing $19.7 million over 737 airplane sensors](http://feeds.reuters.com/~r/reuters/businessNews/~3/oc3XVrjZXVM/u-s-faa-proposes-fining-boeing-19-7-million-over-737-airplane-sensors-idUSKBN20T2VL) March 7, 2020

The Federal Aviation Administration on Friday proposed fining Boeing Co $19.7 million for allegedly installing equipment on hundreds of 737 aircraft containing sensors in heads-up displays that regulators had not approved for use.

  * [Goldman ranks as top activism defense firm, beating Morgan Stanley](http://feeds.reuters.com/~r/reuters/businessNews/~3/YTKQhA1CXE0/goldman-ranks-as-top-activism-defense-firm-beating-morgan-stanley-idUSKBN20T2O1) March 7, 2020

Goldman Sachs ranked as the top adviser to companies targeted by activist investors in 2019, dethroning Morgan Stanley, which had held the top spot for three straight years, according to Refinitiv data published on Friday.

  * [Saudi Arabia limits arrivals from UAE, Kuwait, Bahrain to airports over coronavirus: SPA](http://feeds.reuters.com/~r/reuters/businessNews/~3/yk_YZDZkLAY/saudi-arabia-limits-arrivals-from-uae-kuwait-bahrain-to-airports-over-coronavirus-spa-idUSKBN20U016) March 7, 2020

Saudi Arabia limited on Saturday land crossings with the United Arab Emirates, Kuwait, and Bahrain to commercial trucks only, with arrivals from the three countries temporarily limited to three airports as a precaution taken over the spread of the coronavirus, Saudi news agency SPA reported.




  
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